Annex 13
Ninth Edition
Corrigendum No. 3
(English only)
15/11/06
INTERNATIONAL STANDARDS
AND RECOMMENDED PRACTICES
AIRCRAFT ACCIDENT AND
INCIDENT INVESTIGATION
ANNEX 13
TO THE CONVENTION ON INTERNATIONAL CIVIL AVIATION
NINTH EDITION JULY 2001
CORRIGENDUM NO. 3
1. Please replace existing page 8-1 dated 23/11/06 by the attached new page bearing the notation
Corr. 3.
2. Record the entry of this corrigendum on page (ii).
ANNEX 13 8-1 1/11/01
CHAPTER 8. ACCIDENT PREVENTION MEASURES
Note.— The objective of these specifications is to promote
accident prevention by analysis of accident and incident data
and by a prompt exchange of information.
Incident reporting systems
8.1 A State shall establish a mandatory incident reporting
system to facilitate collection of information on actual or
potential safety deficiencies.
8.2 Recommendation.— A State should establish a
voluntary incident reporting system to facilitate the collection
of information that may not be captured by a mandatory
incident reporting system.
8.3 A voluntary incident reporting system shall be
non-punitive and afford protection to the sources of the
information.
Note 1.— A non-punitive environment is fundamental to
voluntary reporting.
Note 2.— States are encouraged to facilitate and promote
the voluntary reporting of events that could affect aviation
safety by adjusting their applicable laws, regulations and
policies, as necessary.
Note 3.— Guidance related to both mandatory and voluntary
incident reporting systems is contained in the Safety Management
Manual (SMM) (Doc 9859).
Note 4.— Attachment E contains legal guidance for the
protection of information from safety data collection and
processing systems.
Database systems
8.4 Recommendation.— A State should establish an
accident and incident database to facilitate the effective
analysis of information obtained, including that from its
incident reporting systems.
8.5 Recommendation.— The database systems should
use standardized formats to facilitate data exchange.
Note 1.— Guidance material related to the specification for
such databases will be provided by ICAO upon request from
States.
Note 2.— States are encouraged to foster regional
arrangements, as appropriate, when implementing 8.4.
Analysis of data — Preventive actions
8.6 A State having established an accident and incident
database and an incident reporting system shall analyse the
information contained in its accident/incident reports and the
database to determine any preventive actions required.
Note.— Additional information on which to base preventive
actions may be contained in the Final Reports on investigated
accidents and incidents.
8.7 Recommendation.— If a State, in the analysis of the
information contained in its database, identifies safety matters
considered to be of interest to other States, that State should
forward such safety information to them as soon as possible.
8.8 Recommendation.— In addition to safety recommendations
arising from accident and incident investigations,
safety recommendations may result from diverse
sources, including safety studies. If safety recommendations
are addressed to an organization in another State, they should
also be transmitted to that State’s investigation authority.
Exchange of safety information
8.9 Recommendation.— States should promote the
establishment of safety information sharing networks among
all users of the aviation system and should facilitate the free
exchange of information on actual and potential safety
deficiencies.
Note.— Standardized definitions, classifications and
formats are needed to facilitate data exchange. Guidance
material on the specifications for such information-sharing
networks will be provided by ICAO upon request.
23/11/06
No. 11
15/11/06
Corr. 3
Transmittal Note
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